DFX Intelligence
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Registered advisor
G••• L• N••••
Feed of 09/14/2026
Also filed as G••• L••• ••• N••••••••• L••• N••••••••• J••••••• N•••• J••••••• L• N••••••••• L• N••••
At current firm
1 y
since Apr 17, 2025
In the industry
40 y
since Dec 11, 1985 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 17, 2025 · New Orleans, La
- U•• F•••••••• S••••••• I••• wirehouseJan 18, 2013 to Apr 29, 2025 · New Orleans, La
- W•••• F•••• A••••••• wirehouseFeb 19, 2010 to Jan 22, 2013 · Metairie, La
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Apr 29, 2025, registered Apr 17, 2025 (-12 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Jan 22, 2013, registered Jan 18, 2013 (-4 days) · Wirehouse to wirehouse
Signals
- ••• LockedApr 29, 2025 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address